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Advisor at CETERA INVESTMENT ADVISERS LLC
SAN DIEGO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jun 29, 2023 | n/a | yes | SAN DIEGO, CA | Current employment |
| INDEPENDENT FINANCIAL GROUP, LLC | Bd affiliated wealth | Aug 4, 2016 | May 18, 2022 | no | San Diego, CA|San Diego, CA|SAN DIEGO, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Mar 8, 2004 | Aug 17, 2016 | no | SAN DIEGO, CA|ESCONDIDO, CA|SAN DIEGO, CA | Previous registration |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | n/a | Nov 20, 2002 | Apr 2, 2004 | no | LA JOLLA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INDEPENDENT FINANCIAL GROUP, LLC | CETERA INVESTMENT ADVISERS LLC | May 18, 2022 | Jun 29, 2023 | 407 | Firm change after gap | Ibd to ibd |
| LPL FINANCIAL LLC | INDEPENDENT FINANCIAL GROUP, LLC | Aug 17, 2016 | Aug 4, 2016 | -13 | Firm change | Other |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | LPL FINANCIAL LLC | Apr 2, 2004 | Mar 8, 2004 | -25 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7717:105644:CA:2022-05-18 | May 18, 2022 | Jun 29, 2023 | SAN DIEGO, CA | Firm change after gap |
| 6413:7717:CA:2016-08-17 | Aug 17, 2016 | Aug 4, 2016 | SAN DIEGO, CA | Firm change |